Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 06/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 06/02/2014 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 05/28/2014 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Christine Susan Gordon | 4275845 | 1 | 05/28/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Allen Wallace | 3057943 | 1 | 05/28/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 05/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 05/23/2014 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 05/13/2014 | Customer Dispute | Settled | $978,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 05/12/2014 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Nas Adel Allan | 4562149 | 3 | 05/09/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |